clc practice application form

CLC PRACTICE APPLICATION FORM

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Before completing this form please read the Guidance Notes for CLC Practice Applicants. Before submitting this form ensure:

all supporting documentation is attached and listed and clearly labelled indicating the question (e.g. ‘C1’) to which each document relates;

a declaration form signed by ALL key personnel is attached;

the application fee is included/or has been paid [see p12.No6] Please Note:

applications with inaccurate and/or incomplete information will be returned unprocessed; and

during the period between submitting your application and the application being determined, you must notify the Council for Licensed Conveyancers immediately of any changes to the information provided or any material changes in circumstances. Failure to do so may cause the application to be delayed, or reviewed, even if it has already been issued.

1. Tell us about the Practice you want to licence?

A1 List the reserved legal activities the Practice provides, or intends to provide by placing an ‘X’ next to the relevant activity,

Conveyancing services

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Probate activities ☐

Reserved instrument activities ☐

Administration of Oaths ☐

A2 List any non-reserved legal, and other, activities the applicant is, or intends to provide, such as; estate agency, mortgage broking, surveying service, wills, etc.

1. 2. 3. 4.

A3 a) Name and address of

the Practice applying for licence.

Business Name:


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b) Please designate one

individual as the main point of contact for ALL communication about this application.

Address: Post code: Email: Phone: Name: Job title: Work Email: Phone:

A4 Please list all the company trading names with dates when used.

Name: Name: Name:

A5 Please list the registered address if different to A3.

Name: Address: Post code:

A6 Type of Practice applying for the licence. Please place an ‘X’ in only one box, or for ‘Other’ please provide details.

Partnership

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Limited liability partnership

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Private limited company

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Public limited company

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Sole Practitioner

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Other (please specify)

Click here to enter text.


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A7 Date of the Practice incorporation or formation, if applicable. Please provide, if applicable, a copy of the certificate of incorporation or formation and memorandum and articles of association. Please provide an explanation if copy is not attached:

Date:

Copy attached: Yes ☐ No ☐

Details

A8 Banking details, including all client and office account numbers. If necessary please use the ‘Supplementary Information’

(Section 4) for additional accounts’ details.

[Bank account name] [Type of account, e.g. client] [Bank sort code] [Name of bank/building society] [Account number]

A9 List all relevant addresses of your branch offices If more than one continue on separate sheet.

[Name/Street] [Town] [County] [Postcode]

Conveyancing services Yes ☐ No ☐

Probate services Yes ☐ No ☐

A10 List all Website address(es) used by the Practice submitting the application, to advertise, promote or offer its services to consumers.

N/A ☐

a. www. b. www. c. www.


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2. Tell us about the financial and regulatory history of the Practice you wish to CLC regulate?

If the Practice related to this application will for the first time commence trading after a

licence has been granted, tick here ☐ and answer questions B1, B4, B8, and B9

ONLY. B1

Is the Practice applying to any other Licensing Authority to provide reserved legal activities, or is the Practice already regulated by an approved regulator: if yes, please provide

a) any unique practice number or regulatory reference number;

b) the name of the regulator;

c) the most recent approved/commercial regulatory *inspection report; or

d) any other similar correspondence?

*If the Inspection Report is not available please briefly explain why a copy cannot be supplied.

Yes ☐No ☐

Ref Number: Name:

Attached: Yes ☐No ☐

Attached: Yes ☐No ☐

Details:

B2 Has the Practice submitting the application ever been:

a) the subject of a relevant insolvency event?

Supporting Documentation attached

b) subject to any ongoing, pending or previous investigation by any statutory, regulatory or governing body?

If ‘Yes’ to the above, please give full details about the

investigation including:

the name of the investigating body;

date(s) for the incident(s) investigated;

Yes ☐ No ☐

Yes ☐ No ☐

Yes ☐ No ☐


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any unique reference number;

allocated by the investigating body to the investigation;

the reason for the investigation, what was (or is being) investigated; and

the results and date of any completed investigation.

B3 Has the Practice submitting the application within the last three years had appointments to any lenders’ panels: a) terminated; or

b) temporarily suspended?

if ‘Yes’ please provide brief details, including the lender’s name.

c) or, proposed membership of any lenders’ panels

refused?

If ‘Yes’ please provide brief details, including the lender’s name

Yes ☐ No ☐

Yes ☐ No ☐

Lender: Lender: Lender:

Yes ☐ No ☐

Lender: Lender: Lender:

B4 Does the Practice currently hold, or plan to obtain professional indemnity insurance cover under: a) the CLC Professional Indemnity Insurance; or

b) an alternative professional indemnity insurance?

Please provide a copy of the quotation and terms, or existing evidence.

Yes ☐ No ☐

Yes ☐ No ☐

Attached ☐

Not attached ☐

B5 Is the Practice currently providing conveyancing, probate, or will writing services?

Yes ☐ No ☐

Attached ☐


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if yes, please provide a copy of the existing professional indemnity cover policy

if not, a brief explanation as to why not available

Not attached ☐


B6 Has the Practice ever been refused professional indemnity cover

If ‘Yes’, please provide brief details of why this has occurred.

Yes ☐ No ☐


B7 Have any claims been made against the Practice within the last 5 years that:

a) have resulted in the insurance company making payment to the claimant; or

b) are still ongoing.

If ‘Yes’ to the above, please give full details about the investigation including:

date of event causing claim;

amount being claimed;

circumstances of the claim;

amount paid (or likely to be paid) by insurance company; and

who the claim was against, such as: Practice, parent company, or beneficial owner.

Yes ☐ No ☐

Yes ☐ No ☐

Provide details on a separate sheet;

B8 Does the Practice intend to source business directly from other linked organisations, such as, property developers, that would involve the selling of products or services to each others’ clients? If yes, please provide details of any circumstance in which the Practice may act for both parties and set out how the Practice intends to manage any conflict of interest.

Yes ☐ No ☐

Attached ☐

Not attached ☐

B9 Does the Practice intend to provide any service (reserved and non-reserved) where it has agreed to the sharing of fees with any third parties?

Yes ☐ No ☐


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If yes, please provide the name of person or organisation and the type of work the fee relates to - for any proposed sharing of professional fees with third parties.

Attached ☐

Not attached ☐

3. Tell us about the financial, professional, or legal status of the key personnel and/or investors involved in the business?

C1

Please list the beneficial owners and their material interests in the Practice. Continue on a separate sheet as appropriate. Please provide a diagram indicating the ownership structure for those entities that have an interest of at least 10%. If there is a partnership agreement or declaration as to the capital invested and profit share for each partner, or shareholders agreement; please provide a copy.

Name: Position: Nature of the material interest: Percentage holding: Name: Position: Nature of the material interest: Percentage holding: Name: Position: Nature of the material interest: Percentage holding: Name: Position: Nature of the material interest: Percentage holding:

Attached ☐

Not attached ☐

Attached ☐

Not attached ☐


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C2 a) Please list any Directors, not

already listed in C1.

b) Please provide below details of any further employees who, at a managerial level, will supervise the reserved legal activities?

c) Please provide a copy of the legal entities staff structure to include all job titles, reporting lines, and indicating who is an authorised person.

Name: Area of responsibility: Professional Status: Licence/Practising Certificate Number: Name: Area of responsibility: Professional Status: Licence/Practising Certificate Number: Name: Area of responsibility: Professional Status: Licence/Practising Certificate Number: Name: Area of responsibility: Professional Status: Licence/Practising Certificate Number: Name: Reserved Legal Activity: Job Title: Professional Status: Licence/Practising Certificate Number: Name: Reserved Legal Activity: Job Title: Professional Status: Licence/Practising Certificate Number:

Attached ☐

Not attached ☐


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4. Tell us about your three year plan for the business? In order for CLC to process applications it will need to understand how the Practice intends to operate, and has, or knows how to, put in place the appropriate corporate policies and procedures to demonstrate to the CLC that it will act responsibly and fairly in its dealings with clients, employees and all third parties. For information about the type of information that should be included in a three year plan for the business please see Guidance for CLC Practice Applicants: section 2.

D1

C3 Has the Practice, or have any of the beneficial owners, any of the partners/members, or Directors of the Practice ever been:

a) Refused Professional Indemnity Insurance cover?


b) the subject of a relevant insolvency event?


c) subject to any ongoing, pending or previous investigation by any statutory, regulatory or governing body?

If ‘Yes’ to the above, please give full details about the investigation including:

the name of the investigating body;

date(s) for the incident(s) investigated;

any unique reference number;

allocated by the investigating body to the investigation;

the reason for the investigation, what was (or is being) investigated; and

the results and date of any completed investigation

Yes ☐ No ☐

Yes ☐ No ☐

Yes ☐ No ☐

Attached ☐

Not attached ☐

Yes ☐ No ☐

Provide details on a separate sheet;


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A three year plan for the business must include the following financial information:

a) proof of existing, or intended, funding to include evidence of origin of funds e.g. copy of loan agreements, details of capital provided by directors, bank overdrafts; and

b) a copy of the applicant’s accounts for the last 3

years, if applicable; or

c) if you have been trading for less than 3 years a copy of all yearly accounts;

d) Supporting evidence listed in sections 2.2 to 2.6 in the Guidance for CLC Licensed Body Applicants.

Attached: Yes ☐ No ☐




D2 SUPPLEMENTARY/CONTINUATION INFORMATION: Please list any further supplementary evidence supplied with this application below. Please ensure all documentation is numbered and titled, and all corporate policies are annexed correctly.


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5. DECLARATION

I ☐ / we ☐ confirm this information is true, accurate and complete, and that all

material information has been included.

I ☐ / we ☐ can confirm that the Practice has the appropriate compliance

arrangements in place to meet CLC Code of Conduct and other regulatory arrangements.

I ☐ / we ☐ understand that a CLC regulated Practice has to sign the CLC’s Inspection

Co-operation Agreement and would ensure, if licensed, compliance with the provisions of that Agreement.

I ☐ / we ☐ understand the CLC is entitled to seek verification from any party where

necessary and appropriate, including but not limited to clients, staff, government departments, Approved Regulators, other regulatory bodies, and previous insurers, Unless considered to be inappropriate, the CLC will endeavour to notify the applicant in advance of any such verification approach being undertaken.

I ☐ /we ☐ agree to notify the CLC, within 7 days, should any of the information in this

application change.

I ☐/ we ☐ understand that any misrepresentation or failure to reveal information or

grant any authorisation requested may be deemed to be sufficient cause for the refusal, suspension, or revocation of a licence. Signed …………………………………….

Print Name Click here to enter text.

Position/Job Role/Interest Click here to enter text.

Date Click here to enter text. Signed …………………………………….




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Date Click here to enter text.

6. APPLICATION PAYMENT INFORMATION

The ABS application fee paid is £1,200.00 and has been made by: Click here to enter text.

The Recognised Body application fee paid is £150.00 and has been made by: Click here to

enter text.

Please tick

E1

debit or credit card via on-line application

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clc practice application form

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